The Evidence Guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package.

Overview of assessment

Assessment must be carried out in a manner that recognises the cultural and literacy requirements of the assessee and is appropriate to the work performed. Competence in this unit must be achieved in accordance with food safety standards and regulations.

Critical aspects for assessment and evidence required to demonstrate competency in this unit

Evidence of ability to:

identify the requirements and procedures for participating in the audit

identify the purpose and scope of the audit

collect, assess and provide information as required by the audit process

identify and act on inconsistencies or issues which may affect audit processes or outcomes

comply with audit requirements

follow up on audit outcomes.

Context of and specific resources for assessment

Assessment must occur in a real or simulated workplace where the assessee has access to:

workplace program documentation

audit procedures and standards as applied in the workplace

advice on related legislation, industry standards and codes of practice

information systems and data collection technology

reporting formats/requirements

workplace/personnel as required to collect data/observe compliance.

Method of assessment

This unit should be assessed together with core units and other units of competency relevant to the function or work role. In addition, the following optional unit may be relevant:

BSBRES401A Analyse and present research information.

Guidance information for assessment

To ensure consistency in one's performance, competency should be demonstrated on more than one occasion over a period of time in order to cover a variety of circumstances, cases and responsibilities, and where possible, over a number of assessment activities.

Required skills

Ability to:

identify personal roles and responsibilities for participating in the audit process

identify audit purpose, scope, steps and timelines

identify and locate information required to conduct the audit

review workplace documentation to confirm that required information is available

prepare tools as required to collect information, such as checklists and interview schedules

identify any changes that have occurred in the workplace since initiating the program or since the last program audit that could affect program outcomes

apply appropriate questioning, observation and related communication skills to support information collection

review records, conduct interviews, observe workplace practice and collect other relevant information as required to assess compliance with program requirements

take immediate action to report non-conformities that present an imminent and serious risk to the program objectives within level of responsibility

identify, investigate and record evidence of non-conformance and judge significance

assess the adequacy of the program by analysing the information collected against the program objectives

form conclusions on audit outcomes based on an objective assessment of evidence collected

report the findings of the audit in appropriate format

communicate audit outcomes within level of responsibility using techniques and presentation styles appropriate to the audience

where findings indicate either a failure to comply with the program or inadequacy of the program, participate in investigation of causes of failure and identification of corrective action options

use oral communication skills/language competence to fulfil the job role as specified by the organisation, including questioning, active listening, asking for clarification and seeking advice from supervisor

work cooperatively within a culturally diverse workforce

Required knowledge

Knowledge of:

the purpose and intent of the program being audited

personal roles and responsibilities in the audit process and related responsibilities of other members of the audit team

the purpose and stages involved in the audit process

workplace information and related information management systems

techniques for collecting information, including options, relevance and strengths and weaknesses of each method to ensure data is adequate and representative

data analysis methods relevant to the audit process

communication skills and techniques appropriate to the workplace

technical knowledge relevant to the program being audited in order to verify compliance and assess adequacy of existing control measures, including relevant industry standards

purpose and responsibilities for maintaining records

The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.

Audits

Audits may be conducted against workplace programs and/or legislative requirements. Audits may be undertaken for advisory or regulatory purposes and may be led by internal or external auditors

Information collection methods

Information collection methods include:

interviews

observation

review of workplace records

accessing relevant technical information

Corrective action plans

A corrective action plan identifies non-conformance, corrective actions, date by which action must be taken and any other follow up requirements